Thomas R. Kestler
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CRD#: 1006224
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Richard Kestler JR, CFP®, who also goes by Thomas Richard Kestler, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Investment Planning
Employee and Employer Plan Ben...
Are you a "fiduciary"?
No
Aliases
Thomas Richard Kestler
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
***SAA Advisory Business:Branch Development Partners Position: Advisor Nature: Advisory Sales Investment Related: Yes Hours: 5 Securities Trading Hours: 5 Start Date: 07/01/2018 Address: 42890 BEAVER CROSSING SQUARE, ASHBURN, VA 20148 ***Kestler Financial Group - DBA Position: Advisor Nature: Insurance Sales Investment Related: No Hours: 5 Securities Trading Hours: 5 Start Date: 07/01/2018 Address: 42890 BEAVER CROSSING SQUARE, ASHBURN, VA 20148, United States 3. Name: Thomas R. Kestler Position: Expert Nature: Expert Witness Testimony Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 07/01/2018 Address: 20500 Stone Fox Court, Leesburg VA 20175 ***DBA: Branch Development Partners ***DBA - Kestler Wealth Management ***HIGHLAND CAPITAL BROKERAGE POSITION: Provide support and training as requested NATURE: VP Highland Capital Advanced Markets INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2019 ADDRESS: 42890 BEAVER CROSSING SQUARE, ASHBURN, VA 20148 DESCRIPTION: Advanced sales consulting for Highland Capital advisers. ***LTAM SYMBIL SOLICITOR POSITION: Solicitor NATURE: Solicitor agreement with LTAM to offer $ymbil INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/15/2019 ADDRESS: 42890 BEAVER CROSSING SQUARE, ASHBURN, VA 20148 DESCRIPTION: Referrals to LTAM for Symbil ***ATHENEUM PARTNERS POSITION: Consultant NATURE: Expert advise services to Atheneum Partners INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2020 ADDRESS: Torstrabe 49, Berlin, Germany VA 10119, United States DESCRIPTION: Time to time telephone consultation ***THOMAS R. KESTLER POSITION: Expert NATURE: Expert Witness Testimony INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2018 ADDRESS: 20500 Stone Fox Court, Leesburg VA 20175, United States DESCRIPTION: Provide expert witness review and testimony for insurance or investment related cases. ***GUIDEPOINT POSITION: Consultant NATURE: Expert consulting on contract basis. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 01/17/2022 ADDRESS: 675 Avenue of the Americas, 2nd Floor, New York NY 10010, United States DESCRIPTION: Provide expert consulting to various companies on an hourly contract basis.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1984
Experience
Past
July 3, 2018 - December 31, 2022
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ASHBURN, VA
Past
July 3, 2018 - December 31, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ASHBURN, VA
Past
August 18, 2006 - June 29, 2018
CENTAURUS FINANCIAL, INC.
RIA
CRD#: 30833
LEESBURG, VA
Past
August 18, 2006 - June 29, 2018
CENTAURUS FINANCIAL, INC.
BD
CRD#: 30833
LEESBURG, VA
Past
June 14, 2006 - August 22, 2006
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
LEESBURG, VA
Past
October 26, 1999 - June 14, 2006
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
LEESBURG, VA
Past
September 25, 1997 - August 21, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
LEESBURG, VA
Past
October 25, 1991 - October 16, 1997
T.H.E. FINANCIAL GROUP, LTD
BD
CRD#: 14720
MECHANICSBURG, PA
Past
April 19, 1990 - October 7, 1991
HOMESTEAD CAPITAL CORPORATION
BD
CRD#: 21906
Past
March 18, 1988 - April 18, 1990
ASSET MANAGEMENT EQUITIES, LTD.
BD
CRD#: 21604
Past
July 25, 1986 - January 12, 1988
T.H. LEHMAN SECURITIES CORPORATION
BD
CRD#: 16283
Past
April 13, 1983 - June 24, 1986
ATLANTIC SECURITIES, INC.
BD
CRD#: 1128
Past
October 5, 1981 - March 24, 1983
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SA
SECURITIES AMERICA ADVISORS, INC.
1865 WEALTH ADVISORS AT BANK ON BUFFALO | BREITENFELDT GROUP | BREIDENBAUGH FINANCIAL | BRECEK AND YOUNG FINANCIAL SERVICES | BRASS CITY FINANCIAL | BRANCH DEVELOPMENT PARTNERS | BRADY INVESTMENTS & WEALTH PLANNING | BRADY FINANCIAL | BRADFORD INVESTMENT SERVICES | BRADFORD CAPITAL GROUP | BRADEN FINANCIAL SERVICES | BRAD WERNER & COMPANY | BPA FINANCIAL ADVISORS | BOZEMAN FINANCIAL ADVISORS | BOOTH FINANCIAL GROUP | BONGIOVANNI INSURANCE & FINANCIAL | BOND FINANCIAL NETWORK | BOLIVAR INVESTMENT SERVICES | BLUEMARK ADVISORS | BLUE CHIP FINANCIAL GROUP | BLUE CHIP FINANCIAL | BLOSSER FINANCIAL SERVICES | BLOOMFIELD HILLS ADVISORY | BLANCHARD WEALTH SOLUTIONS | BLAKENEY FINANCIAL GROUP | BLAKEMAN BRISTER PUTMAN FINANCIAL GROUP | BLADE FINANCIAL SERVICES | BLACKHAWK FINANCIAL ADVISORS, INC. | BLACK RIVER ASSOCIATES | BLACK OAK INVESTMENT COUNSEL, INC. | BLACK EARTH WEALTH MANAGEMENT | BJURSTROM WEALTH MANAGEMENT | BIXBY FINANCIAL SERVICES | BISON WEALTH STRATEGIES | BIRDS EYE WEALTH PLANNING | BIGSKY FINANCIAL PLANNING GROUP | BIGMAN CONSULTING SERVICES | BIG SKY FINANCIAL PLANNING GROUP | BIG SKY FINANCIAL | BIERMAIER FINANCIAL MANAGEMENT | BHL FINANCIAL SERVICES | BG&CFS, P | BETHEA, ANGST AND HICKS WEALTH MANAGEMNT | BETHEA, ANGST & HICKS | BETCHER FINANCIAL GROUP | BERRIN MANAGEMENT GROUP | BERNARDY FINANCIAL GROUP | BENSON FINANCIAL SERVICES | BENSON FINANCIAL GROUP | BENEFITS WEST | BEN CAIN & ASSOCIATES | BEAU MCNICHOLAS | BEARD FINANCIAL GROUP | BEACONPATH WEALTH MANAGEMENT | BEACH HOUSE WEALTH MANAGEMENT | BDM FINANCIAL ADVISORS | BCA FINANCIAL SERVICES | BC&I WEALTH MANAGEMENT | BAYSIDE FINANCIAL STRATEGIES | BAYPORT FINANCIAL | BAY VIEW CAPITAL | BAY POINTE WEALTH MANAGEMENT | BAY INVESTMENT GROUP | BARTLER WEALTH MANAGEMENT GROUP | BARONE FINANCIAL GROUP | BARNEY FINANCIAL SERVICES | BARKER FINANCIAL SERVICES | BARE WEALTH ADVISORS | BARBER FINANCIAL CO | BANKS WEALTH MANAGEMENT | BANK ON BUFFALO INVESTMENT ADVISORS | BALL WEALTH MANAGMENT | BALANCED WEALTH MANAGEMENT | BAILLIE & ASSOC WEALTH MANAGEMENT | BAILEY FINANCIAL SERVICES | BACKCOUNTRY INSURANCE SERVICES | AZEVEDO INVESTMENT CORPORATION | AXION FINANCIAL GROUP | AVH INVEST | AUGUSTINE FINANCIAL GROUP | ASTUTE WEALTH MANAGEMENT | ASTRA INVESTMENT SERVICES | ASSOCIATED INVESTOR SERVICES, INC. | ASSOCIATED FINANCIAL CONSULTANTS INC | ASSOCIATED FINANCIAL CONSULTANTS & INVES | ARMSTRONG ADVISORY GROUP | ARMSTRONG ADVISORY | ARKTOS WEALTH MANAGEMENT | ARCH WEALTH ADVISORS | ARCADE WEALTH ADVISORS | ARATA INVESTMENT MANAGEMENT | ARANEO TAX AND FINANCIAL | ANTHONY GIULIANO | ANN M. MOROCCO | ANDERSON-VANHORNE INSURANCE & FINANCIAL | ANDERSON-VANHORNE ASSOCIATES | ANDERSON WEALTH PLANNING | AMS FINANCIAL GROUP | AMERIWEALTH RETIREMENT SERVICES | AMERICAN WEALTH PARTNERS | AMERICAN WEALTH MANAGEMENT | AMERICAN NATIONAL BANK WEALTH MANAGEMENT | AMANDA M. BONOMI, E.A., CFP | ALTSTATT FINANCIAL STRATEGIES | ALTER RETIREMENT PLANNING | ALTA FINANCIAL | ALPHA ONE | ALPHA FINANCIAL SERVICES | ALPHA & OMEGA FINANCIAL SOLUTIONS | ALLLISON WEALTH MANAGMENT | ALLIED FINANCIAL SERVICES | ALLIED FINANCIAL PARTNERS | ALLIED ASSET MANAGEMENT | ALLIANT FINANCIAL SOLUTIONS | ALLIANCE WEALTH MANAGEMENT | ALLAIRE FINANCIAL STRATEGIES | ALL IN FINANCIAL | AGRIFAMILY FINANCIAL SOLUTIONS | AGP FINANCIAL | AGGREGATE WEALTH MANAGEMENT | AFR FINANCIAL GROUP | AFR FINANCIAL | ADVANTAGE FINANCIAL SERVICES | ADVANTAGE FINANCIAL GROUP | ADVANCE FINANCIAL GROUP | ADMIRAL FINANCIAL | ADG FINANCIAL SERVICES | ACERRA & ASSOCIATES | ACCENTRA INVESTMENT SERVICES | ACACIA WEALTH MANAGEMENT | ABELS FINANCIAL SERVICES LTD | ABD INSURANCE AND FINANCIAL SERVICES | A3 FINANCIAL PLANNING | A.M. GINSBERG ADVISORY GROUP | A.B. CAMPBELL & ASSOCIATES | A. KRANITZ ASSOCIATES | 88 PROSPERITY WEALTH MANAGEMENT | 457 PLAN SERVICE GROUP | 435 FINANCIAL | 3G FINANCIAL | 2ND OPINION PARTNERS | 21ST CENTURY SECURITIES | 20/20 WEALTH ADVISORS | 20/20 FINANCIAL GROUP | 2 SISTERS FINANCIAL | 1ST STRATEGIC WEALTH ADVISORS | 1ST STEP FINANCIAL | 1ST FINANCIAL SERVICES | 1865 WEALTH ADVISORS AT FC BANK | 1865 WEALTH ADVISORS AT ERIEBANK | 1865 WEALTH ADVISORS AT CNB BAN...
CRD#: 110518 / SEC#: 801-45628
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Contact information
Main Address
12325 Port Grace Blvd., La Vista, NE 68128-8204
Mailing Address
P.o. Box 460001, Papillion, NE 68046
Phone number
(402) 399-9111
Established
Firm type
Fiscal year end
# of Employees
4,468
Regulatory assets under management
| Total Number of Accounts | 211,150 |
| AUM (Assets Under Management) | $ 40,420,443,233 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
